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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2021-09-28 |
| TX | RA | APPROVED | 2021-09-27 |
Branch Locations
9465 Wilshire Boulevard Suite 700, Beverly Hills, CA 90212-2351 • United States
Los Angeles, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Scottsdale | AZ | 10/2017 | 03/2019 |
| V2 Lighting Group, Inc. | San Jose | CA | 01/2017 | 08/2017 |
| San Jose State University | San Jose | CA | 08/2012 | 05/2017 |
| Stifel Nicolaus & Co Inc | Los Angeles | CA | 07/2020 | 09/2021 |
| Enterprise Holdings, Inc. | Orange | CA | 10/2019 | 07/2020 |
| Amazon Com Services | Irvine | CA | 05/2019 | 07/2019 |
| Rbc Capital Markets, Llc | Beverly Hills | CA | 09/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-02-22 |
| S63 | Uniform Securities Agent State Law Examination | 2017-12-18 |
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